Evans Law, PC · SEC · FINRA · State and federal courts
Entity formation, governance and acquisitions. Offerings and the regulation around them. Arbitration and litigation when a matter is disputed. For companies, issuers, broker-dealers and advisers.
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Joint ventures, operating and partnership agreements, and every phase of the business cycle.
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All aspects, including alternative investments across asset classes.
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Companies, issuers, underwriters and funds in private placements, financings and joint ventures.
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Founded by a former chief executive and chief compliance officer of a FINRA member firm.
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Retail, private fund and dual registrants under the Advisers Act of 1940.
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Why Evans Law
Over twenty years of legal practice, built on thirty years in and around the securities industry — securities arbitration and litigation, regulatory investigations, and the transactions underneath them — with an understanding of the challenges and objectives faced by broker-dealers, issuers, representatives and investment advisers.
A former president, chief executive and chief compliance officer of a FINRA member firm, taken through FINRA’s new member application under Rule 1014, and general counsel and chief operating officer to securities issuers, including an Inc. 500 oil and gas company that managed or operated over $300 million of oil and gas assets.
A joint law and business degree with a tax LL.M. on top — because the tax consequence is usually the real answer to an entity or offering question.
Insight
FINRA Rule 3290 replaces Rules 3270 and 3280 on October 25, 2027. It narrows reporting to investment-related activity, adds a customer-involvement assessment, and ends broker-dealer supervision of representatives’ work at unaffiliated registered investment advisers.
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The SEC Division of Examinations has published its fiscal year 2027 priorities. For advisers: economic conflicts, complex products, and compliance programs. For broker-dealers: Regulation Best Interest, AML, and finders. For both: AI-driven cyberattacks and the amended Regulation S-P.
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On October 15, 2026, the SEC approved FINRA’s amendment to Rule 2210 permitting broker-dealers to communicate projected performance and targeted returns, subject to written policies on the intended audience, disclosure of criteria, assumptions, risks, and limitations, and recordkeeping of the source…
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